Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Strom (Strom), previously associated with Cuso Financial Services, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Strom recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $109,073.11 on November 15, 2022.
Customer alleged that representative failed to follow instructions to sell all positions as part of a transfer of three accounts in May 2022. The positions were not liquidated until October 2022 resulting in losses